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Without admitting or denying the findings, Blaylock Van consented to FINRA's findings that it failed to establish and maintain written supervisory procedures.
January 5 -
The organization is focused on some key muni priorities with the new year and new Congress.
January 4 -
The administration gave priority to large bridge projects that are ready to proceed with construction.
January 4 -
The Municipal Securities Rulemaking Board seeks four board members, particularly searching for an investor.
January 4 -
Strong 2021 contribution levels continue a trend that began with pension reforms made in the wake of the Great Recession.
January 3 -
The Securities and Exchange Commission's Public Finance Abuse Division began looking in new directions, charging five different firms with violating 15c2-12 limited offering exemptions in addition to going after issuer officials.
December 30 -
A decision from the Government Accountability Office supports opponents of a controversial memo outlining the administration's preferences for how states should spend their infrastructure funds.
December 29 -
Inflation is a chief risk to public officials eager to launch new projects, but it's a boon for infrastructure investors, who view the asset class as a natural hedge.
December 29 -
While hope remains for certain muni priorities in 2023, others look highly unlikely to gain traction in an ideologically-split Congress.
December 28 -
Regulators have ambitious plans for 2023, which include best execution and time of trade proposals.
December 27 -
PNC Capital Markets has agreed to pay almost $200,000 to settle with the SEC over a failure to meet disclosure requirements in connection with 36 limited offerings.
December 22 -
Brandon Comer said the SEC's case alleging breach of fiduciary duty against him lacks evidence, but a federal judge refused to end the case.
December 20 -
State spending growth topped 18.2% in FY 2022, the highest annual increase in state spending since the National Association of State Budget Officers began recording the data in 1979.
December 16 -
The clock is ticking on Congress waiving PAYGO for Build America Bonds, a budget bear trap that could delay promised subsidy payments totaling $14 billion to issuers.
December 16 -
Municipal issuers pushed hard but unsuccessfully against the bill, which gives them four years to standardize their financial information.
December 16 -
Must-pass spending bills and a debt ceiling fight are in the near future.
December 15 -
The regulation would establish a universal standard requiring dealers in any transaction with a customer to use reasonable diligence to get the customer the best price.
December 14 -
Expanded use of stimulus funds, fully funded water infrastructure grant programs and housing assistance are among the asks from League of Cities as Congress crafts a 2023 spending package.
December 14 -
The change would give broker dealers, municipal securities dealers and municipal advisors until Jan. 31 to annually affirm the information on Form A-12, among other changes.
December 14 -
The latest version of a controversial financial disclosure bill includes changes that benefit muni issuers after a major push by the public finance lobby.
December 13




















